Guideline

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Identification and Management of Step-in Risk

BCBS guidelines on banks' potential support to unconsolidated entities to which they are connected

Basel Committee on Banking Supervision standards to identify, assess and address so-called "step-in risk" potentially embedded in banks' relationships with unconsolidated entities they have created or sponsored, such as securitization conduits, structured investment vehicles and money market funds. Provides a detailed identification method for step-in risk where a bank might provide financial support in order to protect itself from adverse reputational risk stemming from its connections to the entities. Also sets out the appropriate supervisory responses to step-in risk.

Publisher: Global Standard-Setting Bodies Release date: Oct 2017

Type: Guideline

Topics: Shadow banking, Risk management, Securitization

Sectors: Banking

Implementation of the FX Global Code in Hong Kong

HKMA guidance on banks' implementation of the FX Global Code of Conduct

Hong Kong Monetary Authority guidance for banks to follow the FX Global Code of Conduct Standard and Practices for the Wholesale Foreign Exchange Market. Banks are expected to review their practices in light of the FX Global Code and ensure they maintain adequate systems of control to support their observance of the Code.

Release date: Sep 2017 Country: Hong Kong, China

Type: Guideline

Parent: FX Global Code

Topics: Foreign exchange rate risk, Corporate governance

Sectors: Banking

Opinion on Prudential Framework for Investment Firms

EBA opinion on design and calibration of a new prudential framework for investment firms in the EU

European Banking Authority opinion on the design and calibration of a new prudential framework for investment firms in the European Union, which is specifically tailored to the needs of investment firms' different business models and inherent risks. Includes recommendations to develop a single and harmonized set of requirements that are reasonably simple, proportionate and relevant to the nature of investment firms.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2017

Type: Guideline

Parent: Capital Requirements Directive - CRD IV, Capital Requirements Regulation - CRR

Topics: Corporate governance, Consolidated supervision, Capital adequacy, Liquidity risk and rules, Financial conglomerates

Sectors: Banking, Securities

Guidelines on the Assessment of Suitability

EBA and ESMA guidelines for improving corporate governance

European Banking Authority and European Securities and Markets Authority joint guidelines on assessing the suitability of members of management bodies and key function holders. Aim to harmonize and improve suitability assessments within EU financial sectors and to ensure sound governance arrangements in line with the Capital Requirements Directive (CRD IV) and the Markets in Financial Instruments Directive (MiFID II). Highlights the importance for institutions to consider whether candidates have the knowledge, qualifications and skills necessary to safeguard proper and prudent management of the institution.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2017

Type: Guideline

Parent: Capital Requirements Directive - CRD IV, Markets in Financial Instruments Directive - MiFID II

Topics: Corporate governance, Gender equality

Sectors: Banking, Securities

Guidelines on Internal Governance

EBA updated corporate governance guidelines

European Banking Authority revised guidelines on corporate governance. Further harmonize requirements for institutions' internal governance arrangements. processes and mechanisms across the EU, in line with the new requirements introduced in the Capital Requirements Directive (CRD IV) and also taking into account the proportionality principle.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2017

Type: Guideline

Parent: Capital Requirements Directive - CRD IV

Topics: Corporate governance

Sectors: Banking

Preventing Terrorist Financing and Money Laundering in Electronic Fund Transfers

EBA, EIOPA, ESMA guidelines on detecting and preventing abuse of funds transfer mechanisms

European Banking Authority, European Insurance and Occupational Pensions Authority and European Securities and Markets Authority guidelines set out what payment service providers should do to detect and prevent the abuse of funds transfers for terrorist financing and money laundering purposes.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2017

Type: Guideline

Peer: Guidelines on the Money Laundering and Terrorist Financing Risk, Mitigating the Risk of Money Laundering and Terrorist Financing

Topics: Money laundering and terrorist financing

Sectors: Banking, Insurance, Pensions, Securities

Regulation and Supervision of Mutuals, Cooperatives and Community-Based Organisations in Increasing Access to Insurance

IAIS guideline on applying Insurance Core principles to MCCOs while enhancing access to insurance

International Association of Insurance Supervisors guidance on applying insurance Core Principles (ICPs) in ways that contribute to proportionate regulation and supervision. Focuses on role of mutual, cooperatives and community-based organizations (MCCOs) in increasing access to insurance, particularly among disadvantaged people.

Publisher: Global Standard-Setting Bodies Release date: Sep 2017

Type: Guideline

Parent: Insurance Core Principles

Topics: Financial inclusion, Corporate governance, Capital adequacy, Licensing

Sectors: Insurance, Microinsurance

Enterprise-Wide Model Risk Management for Deposit-Taking Institutions

OSFI guideline on its expectations for policies and practices for enterprise-wide model risk management frameworks

Office of the Superintendent of Financial Institutions of Canada guideline establishes a common baseline understanding of OSFI's expectations of banks around the use of models enterprise-wide. Outlines prudent practices for internal model development, review, approval, use and modificationw and is applicable to all models that have a material impact on the bank's risk. Sets out expectations for banks to establish sound policies and practices for an enterprise-wide model risk management framework.

Publisher: National Regulators Release date: Sep 2017 Country: Canada

Type: Guideline

Topics: Risk management, Corporate governance

Sectors: Banking

Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

FSB guiding principles to support the implementation of internal TLAC and the ability to effect bail-in

Financial Stability Board guiding principles to support implementation of internal TLAC requirement in globally systemically important banks (G-SIBs), covering: i) process for identifying material sub-groups; ii) considerations relating to determination of the size of the internal TLAC requirement, its composition and trigger mechanism; and iii) cooperation and coordination between G-SIB home and key host authorities.

Publisher: Global Standard-Setting Bodies Release date: Jul 2017

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Principles on Loss-Absorbing and Recapitalisation of G-SIBs in Resolution , Continuity of Access to Financial Market Infrastructures for a Firm in Resolution, Principles on Bail-in Execution

Topics: Capital adequacy, Recovery and resolution, Systemically important financial institutions (SIFIs)

Sectors: Banking

Continuity of Access to Financial Market Infrastructures for a Firm in Resolution

FSB guidance addresses risk of a bank in resolution being unable to maintain access to clearing, payment, settlement and custody services

Financial Stability Board guidance to support continued access to financial market infrastructures (FMIs) by a firm in resolution. Arrangements apply at the level of providers of critical FMI services, at level of FMI participants and at level of relevant resolution and FMI authorities.

Publisher: Global Standard-Setting Bodies Release date: Jul 2017

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Guidance on Arrangements to Support Operational Continuity in Resolution, Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

Topics: Recovery and resolution, Systemically important financial institutions (SIFIs), Financial market infrastructure

Sectors: Banking

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Resources

382 records

Identification and Management of Step-in Risk

Implementation of the FX Global Code in Hong Kong

Opinion on Prudential Framework for Investment Firms

Guidelines on the Assessment of Suitability

Guidelines on Internal Governance

Preventing Terrorist Financing and Money Laundering in Electronic Fund Transfers

Regulation and Supervision of Mutuals, Cooperatives and Community-Based Organisations in Increasing Access to Insurance

Enterprise-Wide Model Risk Management for Deposit-Taking Institutions

Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

Continuity of Access to Financial Market Infrastructures for a Firm in Resolution

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